WEST END FINANCIAL MANAGEMENT LIMITED

Date authorised
1 November 2018
Companies House
08408688
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Dunraven House
    6 Meadow Court
    High Street
    Witney
    Oxfordshire
    OX28 6ER
    UNITED KINGDOM
    Phone
    +441993709911
    Web
    https://www.westendfml.co.uk

  • Complaints Contact

    Dunraven House
    6 Meadow Court
    High Street
    Witney
    Oxfordshire
    OX28 6ER
    UNITED KINGDOM
    Phone
    +441993709911
    Web
    https://www.westendfml.co.uk

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Pension Transfer Advice

    For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

    Show 2 limitations
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.
    • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.

  • Investment Advice (no pensions)

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

  • Debt Advice

    Show 1 limitation
    • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

  • Investment Setup

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • John Gerard Barker

    IRN JGB01094

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Manager of certification employee (since 9 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Nov 2018)
    • Director of firm who is not a certification employee or a SMF manager (4 Aug 2020 to 31 Mar 2021)
    • CF10 Compliance Oversight (1 Nov 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Nov 2018 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2018 to 8 Dec 2019)
    • CF1 Director (1 Nov 2018 to 8 Dec 2019)
  • Peter Harrison

    IRN PXH00003

    • [FCA CF] Client dealing (1 Jan 2021 to 21 Mar 2022)
    • [FCA CF] Functions requiring qualifications (1 Jan 2021 to 21 Mar 2022)
    • CF30 Customer (1 Nov 2018 to 8 Dec 2019)

Recent activity

Updates to this firm's record on the FCA register.

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